HG
Heath G. Goldstein
1ST FINANCIAL INVESTMENT
Clark's Summit, PA 18411-1056
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CRD#: 2147679
HG
Professional summary
Heath Gary Goldstein, who also goes by Heath G. Goldstein, Heath Goldstein, is a registered financial advisor currently at 1ST FINANCIAL INVESTMENT, INC. located in Clark's Summit, Pennsylvania.
Heath is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Heath has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 11 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heath G. Goldstein | Heath Goldstein
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1st Financial Investments V-P; DBA for Advisory Business; & Notary. Involvement is during both trading and non-trading hours Goldy's Travel Business owned by 1st Financial Investments, as a part-time Travel Agency. 1-2 hours a month after trading hours. Chinchilla Hose Co Recording Secretary, EMS Lt, HIPAA Compliance Officer, Infection Control Officer, EMS Admin Ass't and Volunteer Fireman & EMT. Amount of hours can vary and depends on types of emergencies. Involvement is mostly during normal non-trades hours, unless there is a major disaster incident occurring. Wyoming Valley Pilot's Club Treasurer & Board Member. 1-2 hours per quarter all during normal non-trading hours Scranton-Pocono Amateur Radio Klub Treasurer of Amateur (HAM) Radio Club. 1-2 hours per month during normal non-trading hours Simplicity Group affiliated as an Independent Insurance Agent under their master general agency, IMO, FMO for Fixed Insurance Business. Involvement can take place both during trading and non-trading hours Scott Twp Hose Co., Justus Fire Co., & Clark's Summit Fire Co. Volunteer Fireman and Emergency Medical Technician. Amount of hours can vary and depends on the type of emergencies. Involvement is mostly during non-trading hours, unless there is a major disaster incident occurring. Dive Rescue Specialists Volunteer Water Rescue Technician. Amount of hours can vary, depending on the type of emergency. Involvement is mostly during non-trading hours, unless there is a major disaster incident occurring. Lackawanna County Board of Election Appointed as Judge of Elections for during the Primary and General Elections, 2 days a year (Approx 35 hours per year) & is during both Trading and Non-Trading Hours 1st Financial Tax Services President & Tax Preparer. 40 hours month during tax season. Involvement is usually Not during trading hours, but some hours may be during trading hours. NE PA Financial Group Indirect Passive Owner. Holding Company for the 4 various 1st Financial companies. 1st Financial Safeguard Insurance General Agency for Fixed Insurance and Annuities. Both during not during trading hours City of Scranton Part-Time Lifeguard. Involvement is during both trading & non-trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Heath Gary Goldstein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 17, 2016 - Present
1ST FINANCIAL INVESTMENT, INC.
Office #1: 116 North State Street 1st Floor, Clark's Summit, PA 18411-1056RIA
CRD#: 283072
Clark's Summit, PA
Past
May 6, 2025 - August 6, 2025
VESTECH SECURITIES, INC.
BD
CRD#: 41409
Clark's Summit, PA
Past
June 13, 2016 - July 6, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Clarks Summit, PA
Past
June 13, 2016 - July 6, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Clarks Summit, PA
Past
March 30, 2015 - May 18, 2016
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
CLARKS SUMMIT, PA
Past
March 12, 2014 - May 18, 2016
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
CLARKS SUMMIT, PA
Past
June 3, 2011 - February 14, 2014
KALOS CAPITAL, INC.
BD
CRD#: 44337
CLARK'S SUMMIT, PA
Past
March 7, 2011 - July 7, 2011
WFG INVESTMENTS, INC.
BD
CRD#: 22704
CLARKS SUMMIT, PA
Past
October 12, 2004 - March 8, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CLARK'S SUMMIT, PA
Past
February 19, 2003 - September 29, 2004
MIDSOUTH CAPITAL, INC.
BD
CRD#: 35039
ATLANTA, GA
Past
July 9, 1996 - June 17, 1997
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
August 28, 1993 - September 21, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 23, 1993 - August 16, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Colorado(6/10/2022)
IAR
Louisiana(9/7/2021)
IAR
Minnesota(6/14/2018)
IAR
Pennsylvania(5/17/2016)
IAR
Texas(5/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 2/18/2003
Assistant Representative-Order Processing Qualification ExamPrincipal/Supervisory Exam
Current Firm
1F
1ST FINANCIAL INVESTMENT, INC.
1ST FINANCIAL INVESTMENT, INC. | SOCIAL SECURITY CONSULTING SERVICES, INC. | PENNSYLVANIA 1ST FINANCIAL INVESTMENTS, INC. | PENNSYLVANIA 1ST FINANCIAL INVESTMENTS | COLLEGE PLANNING SERVICES, INC. | BIRIATRIC SOLUTIONS FOR LIFE | 1ST FINANCIAL INVESTMENTS, INC. | 1ST FINANCIAL INVESTMENT, L.P. | 1ST FINANCIAL INVESTMENT, INC. OF PENNSYLVANIA
CRD#: 283072 / SEC#:
Colorado
Registered Investment Advisory firm - (6/10/2022 Approved)Louisiana
Registered Investment Advisory firm - (9/7/2021 Approved)Minnesota
Registered Investment Advisory firm - (6/14/2018 Approved)Pennsylvania
Registered Investment Advisory firm - (5/5/2016 Approved)Texas
Registered Investment Advisory firm - (5/18/2022 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
116 North State Street 1st Floor, Clark's Summit, PA 18411-1056
Mailing Address
Phone number
(570) 585-6100
Established
Firm type
Fiscal year end
# of Employees
8
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 15,411,547 |
Red Flags
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Company Information
1ST FINANCIAL INVESTMENT, INC.
CRD#: 283072Clark's Summit, PA 18411-1056TRUST BUT VERIFY
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